Individual Firm
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John R. Policastro
JOHN R POLICASTRO, JOHN RAITH POLICASTRO JR, JOHN RAITH POLICASTRO, JOHN POLICASTRO, JP POLICASTRO
CRD#: 1999358
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J.P. MORGAN SECURITIES LLCCRD#: 79 7390 DURYEA DR.
COLORADO SPRINGS, CO 80923
COLORADO SPRINGS, CO 80923
View By:
7/13/2010
Customer Dispute
Denied
State Registrations
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Arizona 4/6/2021
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Nevada 9/9/2020
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California 10/1/2012
B
New Jersey 11/9/2017
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Colorado 10/1/2012
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New Mexico 3/23/2021
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Colorado 10/1/2012
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New York 3/9/2021
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Delaware 4/22/2021
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Oklahoma 11/2/2021
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Florida 10/27/2017
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South Dakota 10/27/2017
B
Illinois 10/27/2017
B
Tennessee 10/28/2021
B
Iowa 6/30/2020
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Texas 11/23/2020
B
Maryland 6/2/2021
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Texas 12/3/2020
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Missouri 1/21/2022
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Washington 5/15/2023
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Montana 7/27/2020
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Wisconsin 9/2/2020
SRO Registrations
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Registered with this firm since 10/1/2012
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Registered with this firm since 10/1/2012
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/29/2011 - 10/01/2012 | COLORADO SPRINGS, CO | |
B | 06/28/2011 - 10/01/2012 | COLORADO SPRINGS, CO | |
IA | 07/21/2010 - 06/02/2011 | COLORADO SPRINGS, CO | |
B | 07/23/2010 - 06/02/2011 | COLORADO SPRINGS, CO | |
IA | 08/23/2005 - 12/18/2009 | COLORADO SPRINGS, CO | |
B | 03/26/2004 - 12/18/2009 | COLORADO SPRINGS, CO | |
B | 08/05/2002 - 01/07/2004 | WALL TOWNSHIP, NJ | |
B | 04/10/2002 - 08/05/2002 | PORTLAND, ME | |
B | 10/26/1999 - 04/07/2000 | HOUSTON, TX | |
B | 09/04/1998 - 12/01/1999 | SCOTTSDALE, AZ | |
B | 12/13/1996 - 06/09/1998 | MINNEAPOLIS, MN | |
B | 12/13/1996 - 06/09/1998 | MINNEAPOLIS, MN |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.